RILY

SEC source: 0001213900-24-024048 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 359,605

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on February 24, 2023.

SEC source: 0001213900-24-024052 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,856,180

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on February 24, 2023.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-24-024047 · ownership.xml · nonDerivative · entry 1

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,331

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on February 24, 2023.

SEC source: 0001213900-24-020549 · ownership.xml · nonDerivative · entry 2

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 178,502

F2 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-24-020547 · ownership.xml · nonDerivative · entry 2

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,345

F2 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-24-020543 · ownership.xml · nonDerivative · entry 1

Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 154,305

F1 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-24-020548 · ownership.xml · nonDerivative · entry 3

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 320,795

F2 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-24-020546 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,861,859

F1 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-24-020544 · ownership.xml · nonDerivative · entry 2

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 362,565

F2 · shares: Represents a restricted stock unit award that settles in common stock of the Company and vests in three equal installments on March 15, 2025, March 15, 2026 and March 15, 2027.

SEC source: 0001213900-24-020549 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,416

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c).

SEC source: 0001213900-24-020547 · ownership.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,606

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001213900-24-020548 · ownership.xml · nonDerivative · entry 2

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,252

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c).

SEC source: 0001213900-24-020544 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,055

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c).

SEC source: 0001213900-24-024053 · ownership.xml · nonDerivative · entry 2

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,589

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c ).

SEC source: 0001213900-23-096980 · ownership.xml · nonDerivative · entry 2

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See note

Disclosed balance after: 891,558

F3 · shares: Represents shares gifted by the reporting person as follows: 1,662 shares each to the accounts of his three daughters.

F2 · ownership.nature: Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.

SEC source: 0001213900-23-096980 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See note

Disclosed balance after: 896,544

F1 · shares: These transactions were executed in multiple trades at prices ranging from $20.10 to $20.25. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2 · ownership.nature: Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.

SEC source: 0001213900-24-010608 · ownership.xml · nonDerivative · entry 8

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,733

SEC source: 0001213900-24-010608 · ownership.xml · nonDerivative · entry 7

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,718

SEC source: 0001213900-23-088184 · ownership.xml · nonDerivative · entry 1

D Agostino Robert P · CIK 0001342009 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 160,570

F1 · shares: These transactions were executed in multiple trades at prices ranging from $20.725 to $21.68. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001213900-23-088183 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,979

F1 · shares: vThese transactions were executed in multiple trades at prices ranging from $20.725 to $21.68. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001213900-23-088182 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,778,773

F1 · shares: These transactions were executed in multiple trades at prices ranging from $20.725 to $21.68. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-23-085988 · ownership.xml · nonDerivative · entry 2

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,510

SEC source: 0001213900-23-086426 · ownership.xml · nonDerivative · entry 1

ANTIN ROBERT L · CIK 0000901483 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,495

SEC source: 0001213900-23-087668 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 318,054

F1 · kind: The sales reported in this Form 4 were made by a broker, without instruction by the Reporting Person, to satisfy a margin call. As a Section 16 filer, the Reporting Person has not otherwise sold shares of the Issuer's common stock and the Reporting Person intends to continue increasing his investment in the Issuer over time.

F2 · shares: These transactions were executed in multiple trades at prices ranging from $16.72 to $24.14. The prices reported above reflect the weighted average sales prices. The Reporting Person hereby undertakes to provide upon request from the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001213900-23-085549 · ownership.xml · nonDerivative · entry 2

ANTIN ROBERT L · CIK 0000901483 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,495

SEC source: 0001213900-23-085549 · ownership.xml · nonDerivative · entry 1

ANTIN ROBERT L · CIK 0000901483 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,495

SEC source: 0001213900-23-085988 · ownership.xml · nonDerivative · entry 1

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,010

SEC source: 0001213900-23-085546 · ownership.xml · nonDerivative · entry 1

Brandt Tamara Sue · CIK 0001900812 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,195

SEC source: 0001213900-24-010608 · ownership.xml · nonDerivative · entry 6

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,613

SEC source: 0001213900-23-069689 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,748,773

F1 · shares: These transactions were executed in multiple trades at prices ranging from $46.96 to $47.50. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-24-010608 · ownership.xml · nonDerivative · entry 5

Labran Renee E · CIK 0001318558 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,607

SEC source: 0001213900-23-060135 · ownership.xml · nonDerivative · entry 3

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See note

Disclosed balance after: 876,544

F2 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

F4 · ownership.nature: Held of record by Thomas J. Kelleher and wife as Trustees for the Kelleher Family Trust.

SEC source: 0001213900-23-060135 · ownership.xml · nonDerivative · entry 2

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · See note

Disclosed balance after: 34,118

F2 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

F3 · ownership.nature: Held by self-directed IRA: Thomas John Kelleher IRA.

SEC source: 0001213900-23-060307 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,723,773

F1 · date: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F1 · shares: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-23-060306 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,979

F1 · date: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F1 · shares: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F2 · balance_after: Includes 83 shares that were inadvertently omitted from prior Form 4

SEC source: 0001213900-23-060305 · ownership.xml · nonDerivative · entry 2

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,663

F2 · date: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

F2 · shares: This amended report is being filed to correct the date of the transaction. Represents stock purchased as part of public offering of common stock by the issuer.

SEC source: 0001213900-23-059882 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,723,773

F1 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-23-059878 · ownership.xml · nonDerivative · entry 1

PAULSON RANDALL E · CIK 0001263385 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 308,979

F1 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

F2 · balance_after: Includes 83 shares that were inadvertently omitted from prior Form 4

SEC source: 0001213900-23-059876 · ownership.xml · nonDerivative · entry 2

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,663

F2 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

SEC source: 0001213900-23-059876 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,663

F1 · shares: Represents stock purchased as part of public offering of common stock by the issuer.

SEC source: 0001213900-23-060135 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,415

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001213900-23-060305 · ownership.xml · nonDerivative · entry 1

Moore Andrew · CIK 0001746643 · CEO B. Riley Securities, Inc.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 374,663

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001213900-23-099956 · ownership.xml · nonDerivative · entry 2

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,605

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001213900-24-020548 · ownership.xml · nonDerivative · entry 1

Ahn Phillip J. · CIK 0001574572 · CFO & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 279,251

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c).

SEC source: 0001213900-24-024053 · ownership.xml · nonDerivative · entry 1

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,329

F1 · shares: Represents shares acquired under the provisions of the B. Riley Financial, Inc. 2018 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3 (c ).

SEC source: 0001213900-23-049078 · ownership.xml · nonDerivative · entry 1

RILEY BRYANT R · CIK 0001207269 · Director · Chairman and Co-CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,651,046

F1 · shares: These transactions were executed in multiple trades at prices ranging from $37.61 to $38. The prices reported above reflect the weighted average purchase prices. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

F2 · balance_after: Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.

SEC source: 0001213900-23-046823 · ownership.xml · nonDerivative · entry 1

KELLEHER THOMAS J /ADV · CIK 0000216309 · Co-CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,005

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021 and May 24, 2022.

SEC source: 0001213900-23-046832 · ownership.xml · nonDerivative · entry 1

WEITZMAN HOWARD · CIK 0001136368 · SVP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,456

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021 and May 24, 2022.

SEC source: 0001213900-23-046821 · ownership.xml · nonDerivative · entry 1

Forman Alan N · CIK 0001490907 · EVP, General Counsel, Sec

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,566

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021 and May 24, 2022.

SEC source: 0001213900-23-046836 · ownership.xml · nonDerivative · entry 1

Young Kenneth M · CIK 0001365572 · President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,950

F1 · shares: Represents shares withheld by the Company and remitted on behalf of the Reporting Person for payment of taxes in connection with the vesting of shares from Restricted Stock Units granted on May 28, 2021 and May 24, 2022.